险资举牌上市公司的热潮在资本市场持续升温，然而，在举牌热情高涨的背后，部分机构的合规意识却 未能同步跟进。12月9日，河北证监局对长城人寿保险股份有限公司（以下简称"长城人寿"）采取出具 警示函的行政监管措施。 近两年，长城人寿在资本市场动作频频，凭借对多家上市公司的举牌操作被贴上"举牌大户"的标签，但 与资本市场的活跃表现形成鲜明反差的是，该公司的盈利承压，在牛市行情的背景下，前三季度净利润 大幅下滑七成。 收函后回应：监测与执行衔接问题 河北证监局一纸警示函，揭开了长城人寿在资本市场高歌猛进背后，内部合规体系存在的明显漏洞。 河北证监局也要求长城人寿认真吸取教训，加强证券法律法规学习，严格规范证券交易行为，杜绝此类 违法违规行为再次发生，并于收到决定书之日起15日内提交书面报告。 保费净利润双双下滑 长城人寿是资本市场的"举牌大户"，年内已经举牌多家上市公司。除了新天绿能之外，该公司还举牌了 大唐新能源、中国水务、秦港股份等多家上市公司。 令人意外的是，在举牌动作频频、资本市场整体向好的背景下，长城人寿的业绩表现却未能同步向好， 反而出现了保费与净利润双双下滑的局面。根据长城人寿公布的数据，今年前三季度该 ...

来源：陕西法制网 多元牌照构建全球化业务护城河 公开信息显示，远景未来的合规框架始于其持有的多区域金融业务许可。核心之一是香港证监会 （SFC）颁发的第1、2、4、6、9类牌照，覆盖证券交易、期货合约咨询、资产管理等核心业务，使其 在香港这一国际金融中心具备了开展多元化金融服务的合法身份。此外，为服务全球客户与跨境业务， 公司还宣称持有美国MSB（货币服务业务）牌照等国际资质。这些牌照共同构成了一个横跨主要金融 市场的"资质矩阵"，旨在满足不同司法管辖区的监管要求。 在创始人王贵运看来，获取这些资质不仅仅是准入的"门票"，更是对专业能力和运营标准的一种承诺。 他曾指出，企业是社会进步的重要推动者，其前提正是合法合规。这种将合规内嵌于企业使命的表述， 试图传递一种超越短期利益的长期发展理念。 信用背书与透明化运营的双重加持 除了监管牌照，远景未来还注重通过市场化的信用体系建设来强化其合规形象。根据公开报道，公司及 其关联企业获得了国家标准化管理委员会和中国人民银行备案的AAA企业信用评级。业内人士分析， 此类最高信用等级的评价，涉及对企业治理结构、财务稳健性、合同履约及合规经营能力的综合考察。 这为公司在寻求合 ...

Core Insights - On December 5, three banks, namely Industrial Bank, Huishang Bank, and Chengdu Bank, received regulatory fines totaling over 23 million yuan, highlighting ongoing compliance issues within the banking sector [1][12][13] - The fines reflect a "zero tolerance" approach from regulators towards violations, with each bank facing penalties around 8 million yuan, indicating a strong commitment to rectifying compliance failures [1][12][13] Summary by Category Regulatory Actions - Industrial Bank was fined 7.2 million yuan, with a responsible individual receiving a warning and a 60,000 yuan fine, marking a significant penalty following previous fines for inadequate loan management [1][12][13] - Huishang Bank faced a total of 8.66 million yuan in fines, with violations including improper loan issuance and inadequate post-loan management, indicating deep-rooted governance issues [2][3][12][15] - Chengdu Bank was fined 900,000 yuan, with 15 branches collectively fined 6.35 million yuan, reflecting widespread internal control challenges across its operations [3][4][12][16] Common Violations - "Inadequate loan management" emerged as a common issue among the penalized banks, representing a significant area of regulatory concern within the industry [5][17] - A report indicated that 57.05% of banking violations were related to credit business, with "inadequate loan management" being the most frequent reason for penalties, accounting for 12.99% of cases [5][17] Systemic Issues - The penalties highlight systemic weaknesses in loan management and internal controls across the banking sector, suggesting a misalignment between growth objectives and risk management practices [9][21][23] - The reliance on external institutions for loan management has introduced new compliance risks, as seen in the case of Industrial Bank, which was penalized for inadequate management of external partners [10][22] Regulatory Trends - The regulatory environment is shifting towards more stringent oversight and systemic governance, with a focus on integrating compliance into the core operations of banks [11][23] - Continuous regulatory penalties may not significantly impact the financials of large banks, but the reputational damage and operational restrictions could have long-term implications [11][23]

【环球网科技报道 记者 李文瑶】12月5日，杭州国际博览中心。在亚马逊全球开店跨境峰会的一侧，一场汇集了全球六大区域业 务负责人的论坛，勾勒出一幅中国卖家出海的图景：对于中国跨境商家而言，全球化已从一道选择题，变为一道生存题。 "卖家顾虑的不是'要不要做全球布局'，而是'如何做对全球布局'。"亚马逊中国副总裁、亚马逊全球开店新兴市场负责人张琪开宗 明义。她的判断基于近期广泛的卖家调研：年销售额百万以上的卖家对全球拓展的敏感度最高，他们已具备意愿与能力，核心诉 求是降低试错成本，找到系统化的高效路径。 其次是"合规之惑"。 中等规模以上卖家对合规的关注度空前提升。这背后，是从"野蛮生长"到"合规经营"的认知飞跃。越来越多卖 家意识到，合规非但不是成本负担，反而是构建长期信任、建立竞争护城河的核心资产。那些提前进行合规布局的卖家，已开始 享受"合规红利"带来的先发优势。 最后是"选品之难"。 将成熟市场的畅销品简单复制到新兴市场的策略已然失效。成功的全球化卖家必须完成从"产品思维"到"需求 思维"的转变，即精准洞察当地消费者独特且未被满足的需求，重新定义"好产品"。 这些焦虑共同指向一个结论：全球化不能再是零散的 ...

Core Viewpoint - The global financial market is experiencing volatility due to geopolitical conflicts, fluctuating inflation expectations, and adjustments in Federal Reserve policies, leading to increased demand for gold as a safe-haven asset, which has driven up prices and attracted investor attention [1] Group 1: Company Overview - The company, Lingfeng Precious Metals, has established itself as a preferred platform for investors entering the gold market by providing a stable trading environment and high-quality services [1] - Lingfeng Precious Metals has been a member of the Hong Kong Gold Exchange since its inception, emphasizing compliance, safety, and transparency as core operational principles [2] Group 2: Regulatory Framework - The company adheres strictly to regulatory requirements, maintaining independent client fund segregation accounts to ensure the separation of investor funds from operational funds [4] - The platform operates with transparency in pricing and trade execution, following open and fair trading standards to protect order execution quality and prevent price manipulation [4] Group 3: Technological Capabilities - Lingfeng Precious Metals utilizes the internationally recognized MT4 trading system, known for its stability and a wide range of analytical tools, which is favored by global traders [5] - The platform's servers are configured to high standards, optimizing latency and enhancing order matching speed, ensuring a fast order experience even during significant market events [6] Group 4: Investor Education - The company is committed to investor education, offering systematic teaching through live lectures and strategy explanations, supported by an experienced analyst team that provides in-depth market analysis [7] - By continuously delivering professional content, the company aims to enhance investors' market understanding and analytical skills, improving their trading decision-making accuracy [7] Group 5: Market Positioning - In the context of a changing global economic structure and increasing market volatility, investors are encouraged to choose trading platforms with regulatory advantages, technological strength, and quality service [7] - Lingfeng Precious Metals offers promotional incentives for new account openings, including a bonus of up to $10,000 and a rebate of $26 per lot traded, significantly lowering the entry barrier for investors [7]

"转运蛋白"减肥针走红网络，假证、套证乱象频出 不用节食，也不用运动，只需要打一针就能轻松变瘦？这样的宣传让不少追求快速瘦身的消费者动了心。 江苏苏州的陈女士就是其中之一，一个多月前，她从发小的朋友圈看到"四点暴瘦王"减肥针广告后，花费900元购买了一个疗程，总共三针。 打一针宣称"至少瘦7斤"，花900元购入的"暴瘦疗程"，却让一名女士险些丧命——脉搏骤停、病危通知、严重身体损伤。这场噩梦的源头，是一款成本仅 4元的网红减肥针。 "我们就按照化妆品的工艺操作的，如果不加这个原料的话，就是一个纯粹的化妆品。"被告人张某在法庭上坦言。 近日，央视新闻曝光了一起网红减肥针险些致人丧命的案件。值得关注的是，这些成本仅为4元左右的减肥针剂，套用的竟是化妆品工艺与化妆品备案 号？ 从广州的地下作坊到全网的营销链条，一条混淆妆、械字号的黑色产业链浮出水面，既刺痛了消费者的安全神经，也给美妆行业敲响了合规警钟。 然而，注射后的反应远超预期：呕吐、反胃、厌食等不适接踵而至，注射第4天，陈女士身体状况急转直下，甚至出现脉搏骤停的危险情况，虽经抢救脱 离生命危险，却留下了严重的身体损伤。 来源：央视新闻《每周质量报告》 这款引发 ...

无证上岗销售基金 日前，浙江证监局连发两份行政监管措施决定书，分别对嘉兴银行与浙江稠州商业银行作出责令改正的 决定。 经查，浙江稠州商业银行在基金销售方面存在多项问题。部分基金销售业务人员未取得基金从业资格； 部分基金宣传材料、基金销售制度修订未经合规审查；存在为个别未完成风险测评的客户办理基金销售 业务；通过手机APP销售基金时，未提示投资者阅读基金合同、招募说明书；在向普通投资者销售高风 险产品时，未履行特别的注意义务。 本报（chinatimes.net.cn）记者张萌 卢梦雪 北京报道 没有基金从业资格，却堂而皇之地销售基金产品？ 日前，浙江证监局对嘉兴银行、浙江稠州商业银行分别作出责令改正决定，指出两家银行存在多项违规 行为。不仅部分基金销售业务人员未取得从业资格，嘉兴银行基金销售业务部门的分管负责人亦未取得 从业资格，违反相关规定。 今年下半年以来，已有多家银行因类似问题被监管部门采取责令改正、出具警示函等措施，包括江苏江 南农商银行、海南银行、晋商银行等。 有业内人士向《华夏时报》记者分析称，中小银行在推进财富管理转型过程中，对合规经营重视不足， 合规理念和内控机制建设滞后，是导致相关现象屡禁不 ...

Core Viewpoint - Yiliang Chihong, a leading state-owned enterprise in the non-ferrous mining sector in Yunnan Province, emphasizes compliance and integrity in its operations, contributing significantly to local economic development and achieving an A-level tax credit rating for five consecutive years [1][7]. Compliance and Internal Control - Compliance is regarded as the lifeline of the enterprise, with the A-level tax credit seen as a starting point for continuous management and operational standardization [3][9]. - The company has established a comprehensive compliance management system covering finance, procurement, and safety production, ensuring accurate tax calculations and timely tax declarations through a full-process control system [3][9]. Tax Collaboration and Economic Impact - Yiliang Chihong actively collaborates with local tax authorities to understand key policies such as R&D expense deductions and environmental tax exemptions, which have supported compliance and optimized decision-making [5][11]. - During the 14th Five-Year Plan period, the company saved several hundred million yuan through policy compliance, which has bolstered key projects like safety standardization and mechanization upgrades, contributing to the development of a modern, efficient, and green mining operation [5][11]. Social Contribution and Community Engagement - The company’s continuous A-level tax credit rating has enhanced its market trust and expanded cooperation opportunities, positioning it as a vital force in local economic development [5][11]. - In the 14th Five-Year Plan period, Yiliang Chihong's total industrial output value exceeded 9 billion yuan, ranking eighth in tax contributions among enterprises in Zhaotong City, thus serving as a stabilizing force for the regional economy [5][11]. - The company has also invested over ten million yuan in social welfare, supported more than 200 impoverished students, created over a thousand jobs, and contributed to rural revitalization efforts [5][11]. Future Outlook - Yiliang Chihong aims to continue its commitment to compliance and integrity, striving for high-quality development while contributing to the prosperity of the local economy [7][13].

证券日报网讯12月1日，众生药业（002317）在互动平台回答投资者提问时表示，公司始终坚持合规经 营，规范披露，严格依据信息披露规则履行信息披露责任。 ...

证券日报网讯城投控股11月27日在互动平台回答投资者提问时表示，公司始终严格履行信息披露义务， 坚守合规经营底线，将持续聚焦主业发展，以稳健的经营表现回报投资者信任。 （文章来源：证券日报） ...